The Complete Driver Qualification Handbook...The Coete Drier uaiication Handbook (Part 1) 2 Introduction Your drivers are one of your most valuable assets. They help to keep your business

1The Complete Driver Qualification Handbook (Part 1)

The Complete

Driver Qualification Handbook Your Step-by-Step Guide to Complying with

Regulation Part 391

File Creation


YOUR DRIVERS ARE ONE OF YOUR MOSTVALUABLE ASSETS

Steps

Introduction 2

Driver Application 4

Driver Qualification 7

Requirements Verification 9

File Creation 13

Best Practices 13

Moving Forward 13


IntroductionYour drivers are one of your most valuable assets. They help to keep your business not only running, but successful and thriving.

Still, it’s a common complaint that good, reliable, hard-working people can be hard to find.

Particularly among businesses that hire drivers, that challenge is compounded by a number of factors: the general stress that comes from the driver lifestyle, the driver shortage, the graying of the current workforce, and ultimately, the significant growth that is expected in the industry in the coming decades.

So when you do go through the process of finding and hiring a new driver – and you

find someone that you’re excited to bring on board with your company, it’s important that you get the process right. Not only will this ensure that you’re able to get the relation-ship started on a positive note, but also that you’re hiring compliantly.

Remember, as a business operating under the Department of Transportation’s (DOT’s) Federal Motor Carrier Safety Administration (FMCSA), there are hiring processes you MUST have in place to comply with 49 CFR Part 391 – Qualifications of Drivers and Longer Combination Vehicle (LCV) Driver Instructors. There are also best practices

you SHOULD follow – including running criminal background screens – to ensure you recruit and retain the best possible drivers for your business.

Within this ebook, you’ll find a step-by-step guide to hiring and on-boarding the best drivers for your business – so that you can complete the process as quickly and compli-antly as possible.


What is Regulation Part 391?

Regulation Part 391 helps ensure that all federally-regulated motor carriers are qualified to be on our nation’s roadways –in terms of their physical health, professional experience and motor vehicle record. These regulations apply to any carrier, no matter how many drivers they employ, that operates a vehicle involved in interstate commerce that:

• Weighs at least 10,001 pounds

• Carries more than 9 passengers

• Transports materials deemed hazardous under the Hazardous Materials Transportation Act

As an owner operator, you must serve as both the boss and an employee for your business. This means that you must perform the duties of a carrier by keeping detailed records on your drivers and doing follow-up screenings and regular tests as required. You must also follow all the same rules for yourself as a driver.

You can self-manage when it comes to your application, background checks, medical certifi-cate, drug testing and annual reviews. However, you must have a qualified person other than yourself administer your road test.

In the 40+ page document, Regula-tion Part 391 provides guidance on the federal requirements related to hiring and retaining drivers. It pri-marily covers:

• Qualification and Disqualifi-cation of Drivers

• Background and Character

• Tests

• Physical Qualifications and Examinations

• Files and Records


Step One:

Driver Application


The Application Process

There are specific rules for how you collect information from candidates. To comply with DOT regulations, the application must be signed and dated by the applicant and include the following information. Upon hire, this application kicks off the required background check process and becomes part of the Driver Qualification File (to be discussed more later).

1. Your business name and address

2. The applicant’s name, address, date of birth and Social Security Number, as well as any other addresses at which they’ve resided in the past three years.

3. The issuing state, number and expiration date of each valid commercial motor vehi-cle license or permit held by the applicant.

4. A detailed account of the applicant’s experience operating a motor vehicle, including the type of vehicle they operated.

To be completed by Applicant:Applicant’s Name: Date of Application:

Current Address: Social Security No.: Date of Birth:

Length of time at this address: Telephone No.:

PREVIOUS ADDRESSES FOR LAST THREE YEARS (MOST RECENT FIRST)Street City State/Zip How long Additional

Information Attachedq

LIST ALL UNEXPIRED LICENSES AND/OR PERMITSState Number Expiration Date

Additional Information Attachedq

1.

2.

3.

4.

To be completed by Employer:Motor Carrier:

Address:

APPLICATION FOR EMPLOYMENT

LIST THE NATURE AND EXTENT OF YOUR EXPERIENCE OPERATING DIFFERENT TYPES OF MOTOR VEHICLES (E.G. BUSES, TRUCKS & TRAILERS)

Type Experience in Years and / or Miles DrivenAdditional

Information Attachedq


5. A detailed list of all accidents the appli-cant was involved with in the past three years. This must include the date, nature of the crash and whether there were any fatalities or personal injuries sustained.

6. A list of all of the applicant’s motor vehi-cle violations in the past three years (not including parking).

7. A statement detailing the facts and circumstances of any denial, revocation or suspension of license, permit or privilege to operate a motor vehicle (or a statement certifying that no such circumstance occurred).

8. A list of all the applicant’s employers over the last three years, including the dates employed, reason for leaving and whether they were subject to Federal Motor Car-rier Safety Regulations (FMCSRs) while employed; also whether their job was designated as a safety-sensitive function in any DOT-regulated mode subject to alcohol and controlled substances test-ing requirements.

9. The names and addresses of all CMV employers that the applicant worked for in the seven years prior to the three-year period documented above, along with the dates of employment and reason for leaving each company.

5.

6.

7.

8.

9.

LIST ALL MOTOR VEHICLE ACCIDENTS IN WHICH YOU WERE INVOLVED DURING THE LAST THREE YEARSDATE CITY/STATE NATURE OF ACCIDENT FATALITIES INJURIES

LIST ALL VIOLATIONS (OTHER THAN PARKING) FOR WHICH YOU WERE CONVICTED OR FORFEITED BOND / COLLATERAL DURING THE LAST THREE YEARS

DATE CITY/STATE CHARGE PENALTY

PLEASE DETAIL THE FACTS AND CIRCUMSTANCES OF ANY DENIAL, REVOCATION, OR SUSPENSION OF ANY LICENSE, PERMIT, OR PRIVILEGE TO OPERATE A MOTOR VEHICLE:

EMPLOYMENT HISTORYEmployer Name: Employed From: / To: /

Address: Position: Salary:

Contact: Phone: Reason for Leaving: Were you subject to the Federal Motor Carrier Safety Regulations while employed by this employer? q Yes q No

Was your position “safety-sensitive” requiring Part 40 drug and alcohol testing? q Yes q No

Employer Name: Employed From: / To: /Address: Position:

Salary: Contact: Phone: Reason for Leaving:

Were you subject to the Federal Motor Carrier Safety Regulations while employed by this employer? q Yes q NoWas your position “safety-sensitive” requiring Part 40 drug and alcohol testing? q Yes q No

Employer Name: Employed From: / To: /Address: Position:

Salary: Contact: Phone: Reason for Leaving:

Were you subject to the Federal Motor Carrier Safety Regulations while employed by this employer? q Yes q NoWas your position “safety-sensitive” requiring Part 40 drug and alcohol testing? q Yes q No


10. Certification that the application was completed by the driver and is accurate and complete to the best of his/her knowledge.

Applicant Rights

Because the information contained in this application will be used as part of the required background screening process, drivers must also be given a Summary of Rights. This summary informs drivers that they have the right to review information provided by previous employers, as well as to dispute any findings. This could require a previous employer to resend the correct information, or, if an agreement can’t be made, allow the driver to include a rebuttal statement with the information. Drivers can submit a written request immediately upon applying or up to 30 days after being employed or denied employment. Prospective employers must provide information within 5 business days of the request.

10.This certifies that this application was completed by me, and that all entries on it and information in it are true

and complete to the best of my knowledge. Applicant Signature:_____________________________________________________ Date:______________________


Step Two:

Driver Qualification


Verify Basic Requirements

As stipulated by the FMCSA, all commercial motor vehicle drivers must meet the following qualifications. All of these details should be easily verifiable through the application and interview process:

Has the ability to read and speak English so to converse with officials and the general

public and fill out reports and records.

Has successfully completed and received a road test certificate (or equivalent)

Is physically qualified to drive a CMV and has a valid medical certificate

Has a valid CMV license Has provided the carrier with a list of violations for the past 12 months or a recent

Driver’s Certification

Has a solid understanding of cargo secure-ment in regards to the CMV being driven

Be at least 21 years old

Anyone born before TODAY’S DATE in

1996MAY NOT Operate a commercial vehicle

Road TestCERTIFICATE

MedicalCERTIFICATE

!COMMERCIAL DRIVER LICENSE


In addition to meeting the above prerequisites, none of the following can be true of any candidate you consider:

A suspended, revoked or denied CMV license

Drug and alcohol related offenses that occurred while on duty

A history of leaving the scene of an accident while driving a CMV

A prior felony involving the use of a CMV

COMMERCIAL DRIVER LICENSE


Step Three:

Requirements Verification


Conduct the DOT-Required Background Check Process

Verifying the information on the application is a critical part of the hiring process. All of the information below must be saved and filed away securely. It’s important to note here that any information discovered through this process can only be used for employ-ment purposes. Steps must also be taken to protect the privacy of the driver by ensuring no one sees this information unless they’re directly involved in the hiring process.

Important: The applicant must provide you with written consent before you’re able to request any information from prior employers about their work or violation history. If they refuse to give consent, they cannot be leg-ally allowed to operate a motor vehicle for your company.

Here is the information you must obtain – or make a good faith effort to obtain – during the background check process:

• Request a Motor Vehicle Report in each state where the driver has held a motor vehicle operator’s license or permit in the last three years.

• Contact all the applicant’s DOT-regulated employers from the past three years to learn as much as you can about their pre-vious work history. This includes verifying

dates of employment, accidents the applicant was involved in, whether they had any drug or alcohol violations in the past three years, and whether they failed to complete a prescribed drug and alcohol rehabilitation program. This investigation may take place through personal inter-views, telephone interviews, letters or email.

You must document and keep all responses obtained through this process, along with each employer’s name, address and the date you contacted them. If you’re unable to reach the employer, you must also document all attempts to receive the required information.

And in the case of a new driver where there is no MVR information or DOT-regulated employment history? The absence of informa-tion must be documented and saved, as well.

Are You FCRA Compliant?

When hiring a driver, it’s important to keep in mind that it’s not just FMCSA compli-ance you need to consider, but FCRA compliance, as well. From protecting against discrimination to providing appli-cants with a disclosure and Summary of Rights, there are steps you must take every time you prepare to run a back-ground check on a prospective employee.

Not following the required steps can land you in legal hot water, so it’s critical that you understand - and follow these steps correctly.

FCRA compliance is a topic for another ebook. If you have specific questions about compliant background screening practices, and how they apply to your business, please call (860) 815-0764.


Step Four:

File Creation


SKILL PERFORMANCE EVALUATION

CERTIFICATE APPLICATON

MEDICAL EXAMINER’S NATIONAL

REGISTRY VERIFICATION

MEDICAL EXAMINATION REPORT

CERTIFICATE OF ROAD TEST

DQF

Create the Required Files

At this point in the process, you will have compiled a great deal of information about your new driver – information that now needs to be organized into two folders to comply with DOT regulations:

• A Driver Qualification File

• A Safety Performance History (or Driver Investigation History)

Both of these files must be created and 100% complete within 30 days of a new driver’s employment. Here is a breakdown of the information that must be contained in each.

The Driver Qualification File (DQF) must include: (1) Application for Employment (2) Moving Violations Report (MVR) (3) Certificate of Road Test (4) Medical Examination Report (5) Medical Examiner’s National Registry Verification (6) Skill Performance Evaluation Certificate Application

6 5 4 3 2 1

MOTOR VEHICLE REPORT (MVR)


Once these files are created, they must be kept for the duration of the driver’s employment and for three years thereafter. Per DOT regulations, it’s important that the Safety Performance History information be kept in a secure location with limited access.

The Driver Qualification File will need to be maintained on an ongoing basis. As part of this process, you must carefully monitor document expiration dates and run an annual MVR for the driver. We’ll discuss the management of these files in an upcoming ebook.

SPH

DRIVER’S WRITTEN AUTHORIZATION

TO RELEASE INFORMATION

RECORD OF PREVIOUS

EMPLOYERS CONTACTED

The Safety Performance History (SPH) file must include: (1) Record of Previous Employers Contacted (2) Driver’s Written Authorization to Release Information

2 1


Step Five:

Best Practices


As anyone in business knows, success comes from not just doing the minimum, but going above and beyond. So while

there are a number of checks you aren’t required to do, it’s important to include them as a best practice in hiring the right

people for your team.

As a first step in this process, you should rely on a Consumer Reporting Agency (CRA) versus an online database, as CRAs

are regulated by the Fair Credit Reporting Act (FCRA). This serves to protect both you and the consumer because the

FCRA stipulates just how consumer information can be used.

Commercial Driver’s License Information System (CDLIS)

Running a search on a new driver through the Commercial Driver’s License Information System (CDLIS) verifies that the CDL history information provided on the application is thorough and accurate.

This nationwide database provides details on all active licenses, as well as three prior licenses and where they were held. Through a CDLIS search, employers are able to investi-gate any driving information that was left off the application – giving a more accurate and comprehensive view of the person’s motor vehicle history.

FMCSA Pre-Employment Screening Program (PSP)

Although prior employment verifications will give you a good amount of data in regards to your driver’s record as a motor carrier, it doesn’t provide the level of detail you’ll get through the FMCSA’s Pre-Employment Screening Program (PSP). Instead of just three years of employment information, a PSP will provide 5 years’ worth of crash data, as well as 3 years’ of inspection history, to help you make the safest hiring decisions for your business.

Criminal Background Check

Although criminal background checks aren’t required by the DOT, they are an important part of hiring any new employee. Through this process, you’ll be able to look into the history of each driver to search for felony, misdemeanor or other offenses at the county, state and federal levels. Whether your drivers are transporting valuable freight or passen-gers, this process is an important first step in protecting your business and its customers.


Step Six:

Moving Forward


Now that your background checks and driver files are complete, it’s important to note that there will be steps you’ll need to take on an ongoing basis

to ensure these files stay compliant. With reports to gather and expiration

dates to watch, this process requires a high level of organization – especially for larger fleets

with many drivers to manage.

We’ll dive into the specifics of managing these files – as well as maintaining a safe and

productive workforce – in a future ebook.


DRIVER COMPLIANCE PORTALOur driver compliance web tool will help you hire faster, automate your compliance

and maintain a safe fleet by managing many of the paper processes you’re responsible

for today.

Within our secure portal, you can:

• Kick off the hiring process with an electronic DOT-compliant application

• Run FMCSA & FCRA-compliant background screens to comply with

federal hiring requirements

• Automatically create a compliant file for every driver

• Keep track of document expiration and due dates through timely

compliance alerts

• Automatically process and comply with annual MVR requirements

Want more information about your drivers’ over-the-road habits? Our MVR Monitoring

program constantly monitors the driving record of each employee and sends you

information about motor vehicle accidents, moving violations, license suspensions

and other high-risk behaviors.

To learn more, click here or call 860.815.0764.

https://www.foleyservices.com/driver-files/

Documents

The Complete Driver Qualification Handbook...The Coete Drier uaiication Handbook (Part 1) 2 Introduction Your drivers are one of your most valuable assets. They help to keep your business